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FAL.5/Circ.42 16 May 2019 GUIDELINES FOR

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FAL.5/Circ.42 16 May 2019 GUIDELINES FOR E 4 ALBERT EMBANKMENT LONDON SE1 7SR Telephone: +44 (0)20 7735 7611 Fax: +44 (0)20 7587 3210 FAL.5/Circ.42 16 May 2019 GUIDELINES FOR SETTING UP A MARITIME SINGLE WINDOW 1 The Facilitation Committee, at its forty-third session (8 to 12 April 2019), approved the attached Guidelines for setting up a maritime single window. 2 Member States and international organizations are invited to bring the Guidelines to the attention of all parties concerned. 3 Member States and international organizations are also invited to bring to the attention of the Committee, at the earliest opportunity, the results of the experience gained from the use of the Guidelines for consideration of action to be taken. 4 This circular revokes FAL.5/Circ.36. *** I:\CIRC\FAL\05\FAL.5-Circ.42.docx FAL.5/Circ.42 Annex, page 1 ANNEX GUIDELINES FOR SETTING UP A MARITIME SINGLE WINDOW TABLE OF CONTENTS Contents 1 Introduction 3 2 Scope 3 2.1 Target audience ....................................................................................................... 3 2.2 Maritime transport .................................................................................................... 4 2.3 Electronic messaging............................................................................................... 4 2.4 No standards defined............................................................................................... 4 3 Terminology 4 3.1 Parties ..................................................................................................................... 4 3.1.1 Carrier .................................................................................................................. 4 3.1.2 Freight Forwarder ................................................................................................. 4 3.1.3 Principal ............................................................................................................... 4 3.1.4 Ship agent ............................................................................................................ 4 3.2 Procedures .............................................................................................................. 5 3.2.1 Clearance ............................................................................................................. 5 3.2.2 Manifest................................................................................................................ 5 3.2.3 Bill of lading .......................................................................................................... 5 3.2.4 Waybill .................................................................................................................. 5 3.2.5 FAL documents .................................................................................................... 5 3.3 Information Technology ............................................................................................ 6 3.3.1 Electronic Data Interchange (EDI) ....................................................................... 6 3.3.2 UNECE; UN/EDIFACT ......................................................................................... 6 3.3.3 Electronic signature .............................................................................................. 6 3.3.4 Electronic seal ...................................................................................................... 6 3.4 Single window .......................................................................................................... 6 3.4.1 National single window (NSW) ............................................................................. 7 3.4.2 Maritime single window (MSW) ............................................................................ 7 3.4.3 Trade single window (TSW)/customs single window (CSW) ................................ 7 3.4.4 Port single window (PSW) .................................................................................... 7 3.4.5 Port community system (PCS) ............................................................................. 8 3.4.6 Examples of single window and associated systems relationship ....................... 8 4 Overview of international maritime trade 9 4.1 Different business process groups .......................................................................... 9 4.2 Transport timeline .................................................................................................. 10 4.3 Parties and business functions related to a single window .................................... 10 5 Developing a Basic Plan 12 5.1 Objective ................................................................................................................ 12 5.2 Conceptual architecture ......................................................................................... 12 5.3 Determine scope and stakeholders ....................................................................... 14 5.3.1 MSW and/or TSW .............................................................................................. 14 5.3.2 Clearance functions implemented ...................................................................... 14 5.3.3 Types of shipping supported .............................................................................. 14 5.3.4 Geographic scope .............................................................................................. 15 5.4 Analyse relevant policy issues ............................................................................... 15 5.4.1 International shipping ......................................................................................... 15 I:\CIRC\FAL\05\FAL.5-Circ.42.docx FAL.5/Circ.42 Annex, page 2 5.4.2 Regional shipping............................................................................................... 16 5.4.3 National shipping and cabotage ......................................................................... 16 5.5 Consider use of legacy systems and processes .................................................... 16 5.6 Determine requirements for information security ................................................... 16 5.7 Support process automation ................................................................................. 17 5.8 Determine business model .................................................................................... 17 5.9 Information repository ............................................................................................ 17 6 Implementation 18 6.1 Single window methodology and design process .................................................. 18 6.2 Key performance indicators ................................................................................... 19 6.3 Outline of system architecture ............................................................................... 19 6.4 Data harmonization................................................................................................ 22 6.5 Data elements........................................................................................................ 22 6.6 Data entry into single window ................................................................................ 22 6.7 Tools to aid users' data entry ................................................................................. 23 6.8 Non-functional requirements .................................................................................. 23 6.9 Cyber security ........................................................................................................ 23 7 Interoperability 23 7.1 UN/EDIFACT and FAL Compendium .................................................................... 24 7.2 Extensible Markup Language (XML) ..................................................................... 24 8 Characteristics 24 9 Operation and Maintenance 26 10 References 26 ANNEX A: MARITIME SINGLE WINDOW EXAMPLES 27 ANNEX B: LIST OF APPLICABLE STANDARDS 63 1 IMO: Facilitation Committee (FAL) ......................................................................... 63 2 World Health Organization (WHO) ........................................................................ 63 3 World Customs Organization (WCO) ..................................................................... 63 4 World Trade Organization (WTO) .......................................................................... 63 5 United Nations Economic Commission for Europe (UNECE) ................................ 63 6 United Nations Conference on Trade and Development (UNCTAD) ..................... 64 7 United Nations Commission on International Trade Law (UNCITRAL) ................. 64 8 United Nations Centre for Trade Facilitation and Electronic Business (UN/CEFACT) ........................................................................................................ 64 9 International Organization for Standardization (ISO) ............................................. 65 10 Legal issues in a single window project ................................................................. 65 11 PROTECT.............................................................................................................. 65 12 SMDG .................................................................................................................... 65 13 Transportation Data Coordinating Committee (TDCC) and Accredited Standards Committee (ASC X12) ..........................................................................................
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